Senior Compliance Manager – Sales and Marketing recruitment
The purpose of the role is primarily to be responsible for the oversight of the sales and distribution activities of the business including the approval of financial promotions. As well as this it involves a large contribution to the implementation of the compliance risk assessment and monitoring activity for the activities of the sales and marketing teams.
Other responsibilities include:
- To implement the periodic compliance monitoring of a cross section of the activities of BNY the business, including leading the scoping and reporting of Compliance reviews.
- To keep the Head of Compliance informed at all times of all relevant compliance issues.
- To provide compliance training to the business as required.
- To engage in project/product development work within the business and provide compliance input
- Attend and produce papers for the relevant Senior Management Committees.
- Alternate for Head of Compliance as required.
The right person will need to be comfortable liaising and facing off with senior memebers of the team as well as business areas outside of compliance. This is a rare oppotunity to take on a role where there is a huge amount of scope and development available.
Culturally, this company offers a work/life balance which is hard to compete with and they need a lively, intelligent and charismatic candidate.
Technical Requirements:
- 6 years minimum compliance experience
- Asset management experience
- Technical knowledge of the FSA rules applicable to the business
- Proven management skills and ability to lead multi-jurisdictional teams
- Proven ability to work as an effective partner with the business while retaining objectivity, independence of thought and decision-making.
- Proven experience in investment manager and institutional business compliance
- Familiarity with the UK regulatory approach.
- Some expereince of collective investment scheme compliance ideally both UCITS and non-UCITS CIS
- Some experience of oversight of external suppliers
- Languages are highly preferable
Finance Professionals is part of Hydrogen Group.
